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https://www.law.cornell.edu/cfr/text/17/275.204-3
(a) General requirements. If you are registered under the Act as an investment adviser, you must deliver a brochure and one or more brochure supplements to each client or prospective client that contains all information required by Part 2 of Form ADV [17 CFR 279.1].(b) Delivery requirements. Subject to paragraph (g), you (or a supervised person acting on your behalf) must:
https://www.investopedia.com/terms/b/brochurerule.asp
Jun 18, 2018 · Brochure Rule: Under the Investment Advisor's Act of 1940, the Brochure Rule requires federally registered investment advisors provide a written …
https://www.paulhastings.com/docs/default-source/PDFs/1706.pdf
SEC Adopts New Brochure Requirement for Registered Advisers BY THE INVESTMENT MANAGEMENT PRACTICE 1. Overview The Securities and Exchange Commission (“SEC”) has adopted long-awaited amendments to Part 2 of Form ADV and related rules under the Investment Advisers Act of 1940, as amended (the “AdvisersFile Size: 908KB
https://www.ria-compliance-consultants.com/2012/04/annual-delivery-of-form-adv-part-2a-and-privacy-policy/
Apr 26, 2012 · (1) a current copy of the investment adviser’s disclosure brochure (Form ADV Part 2A or if a wrap-fee client, Form ADV Part 2A Appendix 1); or (2) a summary of material changes to the investment adviser’s disclosure brochure with an offer to provide a current copy of the disclosure brochure upon request.
https://www.riainabox.com/blog/ria-compliance-form-adv-privacy-policy-annual-delivery-requirements
As such, it's very likely that your RIA firm needs to fulfill its annual Form ADV Part 2 material change delivery requirement within the next few days before May 1, 2014. To meet annual delivery investment adviser compliance requirements, both state and SEC-registered investment advisory firms …
http://www.klgates.com/sec-adopts-amendments-to-form-adv-part-2-to-implement-narrative-disclosures-and-electronic-filing-08-13-2010/
Aug 13, 2010 · SEC Adopts Amendments to Form ADV Part 2 to Implement Narrative Disclosures and Electronic Filing. ... The current rule requiring delivery either 48 hours before entering into a contract with a client, or upon entering into a contract if the client can terminate within five days without penalty, has been eliminated. ... Amendments to Form ADV ...
https://www.ria-compliance-consultants.com/2011/04/new-form-adv-part-2-delivery-requirements/
If your investment advisor has filed the new Form ADV Part 2A, you can breathe a brief sigh of relief. However, now it is time to focus on the new delivery requirements. If your investment advisor is registered with the U.S. Securities and Exchange Commission (“SEC”) and filed the new Form ADV Part 2A, your investment adviser must now begin to deliver the new brochure to its investment ...
http://www.nasaa.org/wp-content/uploads/2011/07/IA-Brochure-Rule.pdf
NASAA Brochure Rule Requirements for Investment Advisers . Model Rule 203(b)-1 . Adopted 9/3/87; Amended 9/11/2011 ... requiring an update to all parts of Form ADV. (b) DELIVERY. (1) INITIAL DELIVERY. An investment adviser, except as provided in subsection (b)(3), ... section to a prospective advisory client: (A) Not less than 48 hours prior to ...File Size: 18KB
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